Resource Library
Browse our resource library of videos, white papers, user-guides and more!
Stay Connected
Check out these resources, hand picked just for you.
FINRA & SEC Trends Webinar
In this webinar, we chat with industry experts about trending topics such as ESGs, Cybersecurity, Reg BI, and more. […]
Branch Audit Enhancements Webinar
In this webinar, we discuss our newest Branch Audit enhancements and demonstrate some new features. […]
What’s New At Quest CE – May
During this time, we’ll demonstrate our new ACM Builder Tool, as well as our new secure Single Sign-On solution. […]
What’s New At Quest CE – March
During this webinar, we’ll provide a demonstration of a new role type in our Branch Audit Tool, Supervisory Auditors. […]
What’s New At Quest CE – February
During this time, we’ll demonstrate two new pre-built email blast groups for General Disclosures and General Questionnaires. […]
IAR Continuing Education Model Rule Facts
This whitepaper has everything you need to know about NASAA’s new Investment Adviser Representative CE Model Rule. […]
Eight Reasons to Take your Audit Process Online
This whitepaper offers eight reasons why (if you haven’t already) you should consider taking your Branch Audit process online. […]
Distinguishing Between your Rep’s OBAs and PSTs
This whitepaper covers how to distinguish the difference between Outside Business Activities and Private Securities Transactions. […]
Branch Audit Tool
This video walks through how to use our Branch Audit Tool from the Auditor’s point of view. […]
Annual Compliance Meetings
This video shows some of the features available within our on-demand annual compliance meetings. […]
Policy Attestations
This video shows how to centrally host, view, and manage all of your electronic policies from one location. […]
Annual Compliance Questionnaires
This video shows some of the features available within our annual compliance questionnaires, including the use of standard forms. […]
Conflict Of Interest Tracking
This video features some of the functionality and service types available in our conflict-of-interest tracking system, such as OBAs/PSTs. […]
Course Builder
This video shows how to author, edit, and manage new courses and exams directly in Quest CE’s compliance management system, Renaissance. […]
FINRA Gets Phishy & The Changing Game
FINRA sends a regulatory notice warning brokers of a new phishing scam and regulators look to evaluate the impact of more GameStop fall out. […]
Whistleblowers Get Paid & The SEC’s New Chairman
Joint whistleblowers get paid over $50 million from the SEC and the Senate confirms Gary Gensler as the new chairman of the SEC. […]
Signed from the Grave & Investors Left Betrayed
A former broker is barred from the industry and a new research report shows people trust their Uber drivers more than their FAs. […]
